Management Company “ Delta-Invest”, JSC
Portofolio Manager
06.01.2010
05-01-18/10/124
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
06.03.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-CAPITAL" Management Company", JSC (renamed from -"MAG Finance", JSC)
Portofolio Manager
23.02.2010
05-01-18/300/3328
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
06.03.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“NTC-New Trust Company”, JSC
Portofolio Manager
25.02.2010
4
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
70 650 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Portofolio Manager
18.03.2010
05-01-18/442/4905
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.03.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Investment Company “CenterInvest”, JSC
Portofolio Manager
08.04.2010
05-01-18/576/6289-и
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
04.05.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Portofolio Manager
26.10.2009
05-01-18/5084
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
04.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Portofolio Manager
30.10.2009
05-01-18/5165
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
11.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Premier Capital", JSC
Portofolio Manager
02.11.2009
05-01-18/5167
Limited enforcement action
Commitment letter
The nature of a breach:
1. To provide a guarantee of management to prevent in future violations of the requirement on time-liness information to the Agency|
Date of performance:
12.11.2009
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Portofolio Manager
10.11.2009
05-01-18/5319
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.12.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Portofolio Manager
17.11.2009
188
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
38 880 тг.
The nature of a breach:
1. административное правонарушение выразилось в нарушении финансовой организацией требований к порядку назначения (избрания) на должность руководящего работника.
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
